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OFFICE OF

THE INSPECTOR GENERAL

SOCIAL SECURITY ADMINISTRATION

THE EFFECTIVENESS OF THE

SOCIAL SECURITY

ADMINISTRATION’S 800-NUMBER

AUTOMATION SERVICE

October 2007 A-02-07-17049

AUDIT REPORT



Mission

By conducting independent and objective audits, evaluations and investigations,we inspire public confidence in the integrity and security of SSA’s programs andoperations and protect them against fraud, waste and abuse. We provide timely,

useful and reliable information and advice to Administration officials, Congressand the public.

Authority

The Inspector General Act created independent audit and investigative units,called the Office of Inspector General (OIG). The mission of the OIG, as spelledout in the Act, is to:

Conduct and supervise independent and objective audits andinvestigations relating to agency programs and operations.

Promote economy, effectiveness, and efficiency within the agency. Prevent and detect fraud, waste, and abuse in agency programs and

operations. Review and make recommendations regarding existing and proposed

legislation and regulations relating to agency programs and operations. Keep the agency head and the Congress fully and currently informed of

problems in agency programs and operations.

To ensure objectivity, the IG Act empowers the IG with:

Independence to determine what reviews to perform. Access to all information necessary for the reviews.

Authority to publish findings and recommendations based on the reviews.

Vision

We strive for continual improvement in SSA’s programs, operations andmanagement by proactively seeking new ways to prevent and deter fraud, wasteand abuse. We commit to integrity and excellence by supporting an environmentthat provides a valuable public service while encouraging employee developmentand retention and fostering diversity and innovation.



SOCIAL SECURITY

MEMORANDUM

Date: October 19, 2007 Refer To:

To: The Commissioner

From: Inspector General

Subject: The Effectiveness of the Social Security Administration’s 800-Number AutomationService (A-02-07-17049)

OBJECTIVE

Our objective was to review the effectiveness of the Social Security Administration’s(SSA) 800-number automated service system.

BACKGROUND

SSA maintains a national 800-number for individuals to file claims, update records andrequest information about SSA’s programs. Since becoming available nationwide in1989, SSA’s 800-number has become a principal contact point for individuals seekingAgency services. Although the public has a variety of other options (Internet, fieldoffices [FO], etc.) to obtain information or conduct business with SSA, most customersconduct their business with SSA by telephone. In Fiscal Year (FY) 2006, SSA reported that there were 59,475,747 transactions handled by the national 800-number network.1 The 800-number’s telecommunications services are currently provided under contractby Verizon Business.

To keep pace with the growing demand for its 800-number service, the Agencyexpanded the automated service options to reduce the number of calls going to agentsand time spent waiting to speak to an agent. To that end, callers to the 800-numbermay use a self-service menu of automated services or request to speak with an agent.The 800-number automated system offers a variety of services, in English or Spanish,24 hours a day, 7 days a week. Callers can request pamphlets and forms in addition toobtaining information, such as business hours and locations of nearby FOs.

An August 2005 Government Accountability Office (GAO) report stated “since 2002,SSA’s 800-number automated menus have received progressively higher call volumes

1 Social Security Administration’s Performance and Accountability Report for Fiscal Year 2006 ,Performance Section, p. 86.



Page 2 - The Commissioner

but handled fewer calls to completion.”2 GAO further reported that “the number of callsbeing abandoned without completing a transaction in the automated menus has steadilyincreased, culminating in 2004, when nearly half of calls to automation wereabandoned.”3 The GAO report indicated that, although SSA offered a number ofreasons why fewer calls were being handled to completion, it was unable to say with

certainty why calls continued to be abandoned.

4

To meet our audit objective, we analyzed and compared the 800-number’s automatedservice system data for March 2006 and 2007 to identify trends in caller outcomes anddifferences in performance of individual service options. We also interviewed800-number officials to obtain an understanding of the Agency’s data collectionmethodology used to track, monitor, and report on the automated system. Lastly, wereviewed the Agency’s contracts for 800-number services to determine the contractualobligations of its telecommunications provider for 800-number related managementinformation. See Appendix B for additional background, information and details of ouraudit scope and methodology.

RESULTS OF REVIEW

We found the service provided by SSA’s 800-number automated system has improved.However, SSA can further improve the automated system to better meet the needs ofits customers. While automated services were introduced to lessen the call burden onlive agents and provide additional services to SSA’s customers, a similar percentage ofcalls to the 800-number were placed with live agents over the last 2 FYs, and manycallers who used the 800-number automated services did not complete their calls inautomation. These callers either hung up or were re-routed to live agents. Theautomated services are not cost-effective when calls are not completed because SSA

pays for customers’ use of the automated services whether they use it successfully ornot. Also, unsuccessful use of the automated services can lead to additional chargessince customers are often routed to, or call back to speak with, a live agent. In addition,Spanish-language callers had a far higher rate of hanging up in the automated systemthan English-language callers. We attempted to determine the reasons for the high rateof incomplete calls but found that SSA’s management information on callers did notprovide detailed caller data to facilitate follow up. Lastly, we found SSA did not haveperformance measures and goals to determine the effectiveness of its automated800-number system.

2GAO-05-735, Social Security Administration: Additional Actions Needed in Ongoing Efforts to Improve

800-Number Service , August 8, 2005, p. 16.

3 Id.

4 GAO-05-735, supra, at p. 17.




AUTOMATED SYSTEM OUTCOMES

The percentage of 800-number callers who chose to use the automated system was33.3 percent in March 2006 and 35.3 percent in March 2007. In each month,22.4 percent and 21 percent, respectively, of the callers who used the automated

services were re-routed to a live agent because of problems in completing theautomated transaction or requests to speak to a live agent before completing theautomated transaction. In addition, 22.6 percent and 16.4 percent of those who usedautomated services hung up, that is, abandoned the automated system beforecompleting their transaction (see table below).

800-Number Automation Outcomes March2006

March2007

Total Calls Placed to the 800-Number 7,396,073 6,662,739800-Number Callers Selecting the Automated System 2,461,102 2,352,578Percent of Total Calls to Automated System 33.3 35.3

Percent of Calls Completed in Automation 51.5 60.4Percent of Calls Abandoned in Automation 22.6 16.4Percent of Calls in Automation Rerouted to Agent 22.4 21Percent of Calls to After Hours Message 0.3 0.6Percent of Calls Returned to Main Menu Incomplete 3.1 1.6

As the table shows, SSA realized some notable improvements in the performance of itsautomated system. For example, the percentage of calls completed in automationincreased from 51.5 percent in March 2006 to 60.4 percent in March 2007. Additionally,the percent of calls abandoned in automation declined from 22.6 percent in March 2006to 16.4 percent in March 2007.

We reviewed automation outcome data for FYs 2005 and 2006 and found that thepercentage of calls abandoned in automation improved from one year to the next.However, the percentage of calls extended to a live agent increased from FY 2005 toFY 2006. Fifty-two percent of the calls placed in automation were completed inautomation in both FYs 2005 and 2006. In FY 2005, 36 percent of the calls placed inautomation were abandoned, and 11 percent were extended to live agents. InFY 2006, 22 percent of the calls placed in automation were abandoned, and 23 percentwere extended to live agents.

In terms of automation lessening the burden on live agents, the percentage of calls to

the 800-number that were placed with live agents was relatively the same—63.9 percent in FY 2005 to 62.6 percent in FY 2006. While the 1.3 percent dropbetween the FYs is an improvement, the overall volume of calls to the 800-number rosebetween the FYs, from over 82.6 million calls in FY 2005 to over 88.4 million inFY 2006. Accordingly, the number of calls to live agents rose from 52.8 million inFY 2005 to 55.3 million in FY 2006.




Automated Services

SSA’s 800-number automated system offers 11 automated services to callers, includingseveral with multiple subsets containing numerous data. Some subsets are callerdecision points while others are data elements that highlight, for example, language

differences (English versus Spanish) or technical differences (touch-tone versusspeech-enabled). Callers to the automated menu can request pamphlets on programsor a Social Security Statement of earnings and benefits, listen to informationalmessages, create passwords, switch to Direct Deposit for Social Security payments, ornotify the Agency of a change of address. As an example, initially a caller to theautomated system is prompted to conduct the call in English or Spanish. Then, thecaller selects 1 of the 11 menu service options (requests a pamphlet, for example) andthen is guided through multiple subsets to complete their transaction (which pamphlet,where to mail the pamphlet, etc.).5

To determine the effectiveness of the automated services, we reviewed the detailed

management information available for each service. We found that different serviceshad varying completion rates. In fact, an average of nearly 46 percent and 42 percentof the automated services had a 50 percent or less completion rate in March 2006 andin March 2007 (for additional details, see Appendices C and D). In addition, someautomated services had completion rates of 20 percent or less (22 percent of theservices in March 2006 and 17 percent of the services in March 2007).

We found the automated services callers selected most frequently had completion ratesranging from about 1 to 75 percent. The 20 automated services for March 2006 and2007 with the heaviest transaction volume are detailed in Appendices E and F. Weidentified the 20 most frequently accessed services6 and found that, in March 2006,

16 of the 20 heaviest used services had completion rates of 50 percent or less, while, inMarch 2007, 14 of the 20 most frequently used services had completion rates of50 percent or less. (See the table below for the distribution of the 20 busiest servicesby completion rates).

5

Throughout the report, we refer to the 11 automated services and all of their subsets as “services.”

6Some automated service transactions were pre-programmed to be “0 percent complete” or “never

complete.” These transactions were intended to capture data only on 800-number callers that either werenot qualified or did not have the information needed to use the selected services, so the transactionswere always defined as “never complete.” Also, some automated service transactions werepre-programmed to be “100 percent complete” or “always complete.” These transactions providedinformational messages to the caller. The transactions were “always complete” even if the caller did notlisten to the entire message. We did not include these transactions in our analysis of the 20 mostfrequently accessed services.




20 Most Frequently Used Automated Services

Completion Rate March 2006 March 2007Services Volume Services Volume

1 to 25 percent 5 244,915 5 122,477

26 to 50 percent 11 617,419 9 646,58451 to 75 percent 4 388,502 6 292,783Total 20 1,250,836 20 1,061,844

We also found some of the automated services were used less than others, with someservices rarely being selected. While over 2 million callers used SSA’s automatedservices in March 2006, about 41 percent of SSA’s automated services had 100 orfewer transactions, and 21 percent had 10 transactions or less. Similarly, while over2 million callers used SSA’s automated services in March 2007, over 42.7 percent of theautomated services had 100 or fewer transactions, and 16.9 percent had10 transactions or less.

Cost-effectiveness

Verizon charges SSA a basic usage fee for every call that is connected to the800-number network (see Appendix G). The basic usage fee consists of flat rate fees,as well as a charge for each minute the call is connected. Additionally, the Agency ischarged a flat rate fee for each automated system transaction selected by callers. Thefees for automated transactions are charged even if the caller hangs up beforecompleting their business.

SSA incurs additional costs if a caller is re-routed from the automated system to an

agent or requests to speak to an agent before completing the automated transaction. Insuch instances, the Agency incurs the cost for the automated system transaction thecaller selected as well as the additional costs related to remaining on the telephonelonger to speak to an agent. Additional costs can be incurred when a caller abandonstheir call in automation and re-dials the 800-number to speak to an agent to completetheir business. SSA incurs the cost of the unsuccessful use of the automated system,including the basic usage fee, as well as the additional basic usage fee and time chargefor the additional call to the agent.

Spanish-language Callers

An average of 92 percent of callers who used the automated system in FYs 2006 and2007 chose to use the English-language option, and 8 percent chose to use theSpanish-language option. While Spanish-language callers used the automated systemfar less, they had a much lower completion rate than English-language callers. InMarch 2006, there were 103,994 Spanish-language transactions on the 800-numberautomated services, and 54.5 percent of the callers hung up before completing theirbusiness. Similarly, in March 2007, there were 101,710 Spanish-language transactionson the 800-number, and approximately 54.9 percent of the callers hung up before




completing their business. English-language callers had 31.21 and 28.3 percenthang-up rates for March 2006 and March 2007, respectively.

Spanish-language callers do not have as many service options available asEnglish-language callers. If Spanish-language callers encounter problems while in an

automated option, they must either complete the option or hang up because they cannotopt out or be rerouted to speak to an agent or leave a callback message duringnon-business hours.

MANAGEMENT INFORMATION

We attempted to determine the reasons for the high rate of incomplete calls in the800-number automated system but found SSA did not collect caller-level data, whichlinked callers to their specific outcomes in the automated system. SSA did conduct800-number caller contact surveys periodically. However, the surveys were based oncall data that did not specifically target 800-number callers who had negative outcomes

in the automated system. We wanted to use that type of specific information to contactcallers to find out why they did not successfully complete their calls in automation.While Verizon supplies SSA with caller-level data for callers who choose to use theautomated services, the caller-level data do not link callers to outcomes and do notdistinguish whether a caller had a positive or negative outcome in the automatedsystem.

We asked SSA whether data matching individual telephone numbers to specificoutcomes were available. SSA informed us that the contract for 800-number serviceswith Verizon did not require that the contractor supply such data. On our behalf, theAgency asked Verizon if such data were available and was told Verizon could provide

the data at an estimated cost of $57,780 for 1 day’s data. SSA reported that it did nothave the funding to acquire the data on our behalf.

Without these data, we could not effectively identify and contact callers who had anegative outcome with the automated system. In our review of the two contracts towhich SSA is a party related to its 800-number,7 we did not identify any language thatwould prevent SSA from receiving this type of data at no additional costs. In addition, aGeneral Services Administration (GSA) contract specialist informed us that it appearedmost of the data elements we believed were needed to identify and contact callers withnegative outcomes in the automated system should be available at no additional costsunder the GSA Federal Technology Service 2001 contract. The Federal TechnologyService contract provides telecommunications service to Federal agencies. SSA is aparty to this contract, which is managed by GSA.

7GSA Federal Technology Service 2001 contract between GSA and Verizon Business, Contract

No. GS00T99NRD2002; and SSA Office of Finance and MCI WorldCom Communications, Inc., ContractNumber 0600-00-40649. MCI was purchased by, and officially merged with, Verizon Communications inJanuary 2006. SSA reported to us that the provision of the type of management information werequested was addressed in the GSA Federal Technology Service 2001 contract.




PERFORMANCE MEASURES AND GOALS

Although one of SSA’s automation goals is to reduce the burden on live agents, it doesnot have predetermined and quantitative performance measures and goals to measurethe effectiveness of the 800-number automated system.8 We were unable to identify

any such goals in SSA’s Annual Performance Plan , Performance and Accountability Report , or Office of Telephone Service’s Strategic Plan: FY 2005 – FY 2010 . Withoutquantitative performance measures and goals, SSA lacks an important tool to monitorand determine whether the automated system is effectively serving the needs of callers.

CONCLUSION AND RECOMMENDATIONS

Based on our review, we believe SSA has been able to realize improvements in theeffectiveness of its 800-number automated service system. However, there are stillopportunities to improve the automated system to better serve the needs of itscustomers. To ensure the 800-number automated service system serves SSA

customers in a cost-effective manner, we recommend SSA:

1. Have its Office of General Counsel determine whether SSA’s current 800-numberservice related contract(s) allow for the provision of management information thatidentifies 800-number callers with unsuccessful outcomes in the automated systemat no additional cost to the Agency.

2. Ensure future contracts routinely provide management information needed to identify800-number callers with unsuccessful outcomes in the automated system at noadditional cost to the Agency.

3. Determine, once the necessary call data are obtained, why any of its automatedoptions have low completion rates and take necessary steps to improve the serviceprovided.

4. Develop quantitative performance measures and goals to measure the effectivenessof the automated service system.

AGENCY COMMENTS

SSA agreed with our recommendations. See Appendix H for the full text of SSA’scomments.

SPatrick P. O’Carroll, Jr.

8 The 800-number operation has two performance measures, neither related to automation, which aremonitored and reported in SSA’s Annual Performance Plan: Agent Busy Rate and Average Speed ofAnswer.



Appendices APPENDIX A – Acronyms

APPENDIX B – Scope and Methodology

APPENDIX C – Automated Services with Completion Rates of 50 Percent or Less:March 2006

APPENDIX D – Automated Services with Completion Rates of 50 Percent or Less:March 2007

APPENDIX E – Analysis of the 20 Most Frequently Used Automated Services:

March 2006

APPENDIX F – Analysis of the 20 Most Frequently Used Automated Services:March 2007

APPENDIX G – Cost Data for 800-Number Network Transaction Charges

APPENDIX H – Agency Comments

APPENDIX I – OIG Contacts and Staff Acknowledgments



Appendix A

Acronyms

ASR Automated Services Report

FO Field Office

FY Fiscal Year

GAO Government Accountability Office

GSA General Services Administration

OIG Office of the Inspector General

OTS Office of Telephone Services

OTSO Office of Telecommunications and Systems Operations

SSA Social Security Administration



Appendix B

Scope and Methodology

To accomplish our objectives, we reviewed:

• The Office of Quality Assurance and Performance Assessment’s 800-numberCaller Survey Results for Fiscal Year (FY) 2005 that, in part, dealt with800-number callers’ experiences with the automated service system and difficultiesreported.

• The Office of Telephone Services (OTS) Strategic Plan FY 2005-FY 2010 — May 2006 to obtain an understanding of its plans and goals for using automation toimprove public service and network efficiency of its 800-number telephone

services.

• The Social Security Administration’s (SSA) Office of the Inspector General Report,Performance Indicator Audit: 800-Number Access , September 2006.

• A Government Accountability Office (GAO) report on Social Security Administration: Additional Actions Needed in Ongoing Efforts to Improve 800-Number Service ,GAO-05-735, August 2005.

• Documentation detailing the organization, service functions, and configuration of the800-numbers automated system, including the network’s new speech-recognition

technology.

• Documentation describing the data elements used for maintaining statistical data,as well as management information reports.

• Documentation describing the data elements used to monitor the performance ofthe automated service system, as well as management information reports.

• The Federal Technology Service 2001 contract between the General ServicesAdministration and Verizon Business for telecommunications services for federalagencies (Contract No. GS00T99NRD2002) to determine the contractual

obligations of the vendor to provide toll-free services management information.

• SSA’s contract with Verizon Business (Contract CCNS 0600-00-40649) todetermine the vendor’s contractual obligations to provide 800-number relatedmanagement information to the Agency.

B-1



We interviewed OTS and Office of Telecommunications and Systems Operations staffto gain an understanding of the management information used to track how callers’experiences on the automated system are recorded, analyzed, and reported. Weanalyzed the 800-number transaction data in the Automated Services Reports,Password Services Reports, and Voice Portal Reports for the month of March 2006 and

the month of March 2007 to identify and compare trends in caller outcomes, andperformance of individual Automated Options. We also analyzed800-number data for FYs 2005 and 2006.

We attempted to obtain caller-level data to identify callers with unsuccessful outcomeswithin SSA’s 800-number automated system to determine why some callers did notsuccessfully use the automated system. However, we found that SSA did not maintainsuch data on callers who used the automated service system. As a result, we were notable to perform our caller contact survey as originally planned.

We performed our audit from December 2006 through May 2007. We were unable to

independently test the reliability of the data we used in our analyses because it wasmaintained by an outside contractor (Verizon), and we were not provided access to itssource. Though, SSA reported to us that both Verizon and OTS test the reliability ofdata. Accordingly, we determined it was reasonable to use this data to meet our auditobjectives.

The entities audited were the OTS under the Deputy Commissioner for Operations andthe Office of Telecommunications and Systems Operations under the DeputyCommissioner for Systems. We conducted this audit in accordance with generallyaccepted government auditing standards.

B-2



Appendix C

Automated Services with Completion Rates of

50 Percent or Less: March 2006The table below contains data on the volume of transactions for the Social SecurityAdministration’s (SSA) 800-number automated services, which had completion rates of50 percent or less in March 2006. The automated services are maintained in one ofthree different management information databases: Automated Services Report (ASR),Voice Portal Report, or Password Services Report. The Automated Service field in thetable lists the database that maintains the service, as well as the name of thetransaction (for example, “Pamphlets-Understand Facts” or “Password Services-Title2”). The field also indicates whether the item was the first automated transaction or asubsequent automated transaction selected by a caller. Lastly, it indicates the

technological platform of the item, that is, whether the caller selected to use theTouchtone or Speak Freely Menus. The transactions selected refer to the number oftimes the automated service was selected in the month and the completion rate refersto the percentage rate of transactions that were completed.

Automated Service Languageof Caller

TransactionsSelected

CompletionRate

1. ASR: Pamphlets-UnderstandFacts-Subsequent Selections-Touchtone

English 3 0.00%

2. Password Services-Title 2:Overpayment Information-Touchtone

Spanish 0 0.00%

3. Password Services-Title 2:Overpay Last-Touchtone

Spanish 0 0.00%

4. Password Services-Title 2:Overpay Next-Touchtone

Spanish 0 0.00%

5. Password Services-PasswordChange-Touchtone

Spanish 61 1.64%

6. Password Services-PasswordUse-Touchtone

Spanish 2,540 2.40%

7. Password Services-PasswordBlock-Touchtone Spanish 75 2.67%

8. Password Services-PasswordBlock-Touchtone

English 559 4.47%

9. Password Services-PasswordChange-Touchtone

English 177 6.21%

10. Password Services-PasswordRegistration-Touchtone

Spanish 258 7.75%

C-1




Transactions CompletionSelected Rate

11. Password Services-PasswordChange-Speech

English 86 8.14%

12. ASR: Mainframe-Change of

Address/Telephone Number-Knowledge BasedAuthentication-PrimarySelections-Speech

English 41,901 9.49%

13. ASR: Mainframe-Change ofAddress-Knowledge-BasedAuthentication-SubsequentSelection

English 63,110 10.24%

14. ASR: Mainframe-Change ofAddress/Telephone Number-Knowledge Based

Authentication-PrimarySelections-Speech

English 2,684 12.63%

15. ASR: Mainframe - SpeechApplication for Direct Deposit-Password-SubsequentSelections-Speech

English 78 12.82%

16. ASR: Mainframe-Change ofAddress-Speech Application forDirect Deposit

English 872 12.84%

17. ASR: Mainframe-Change ofAddress-Knowledge Based

Authentication-SubsequentSelection-Touchtone

English 2,418 13.28%

18. ASR: Mainframe-SpeechApplication for Change ofAddress/Telephone Number-Primary Selections-Touchtone

English 597 14.07%

19. Password Services: GetPassword Request Code-Touchtone

Spanish 1,259 15.49%

20. Password Services: PasswordBlock Access-Speech

English 115 15.65%

21. Password Services: PasswordBlock Access-Speech

English 690 15.94%

22. ASR: Mainframe-SpeechApplication for Direct DepositApplication-PasswordAuthentication-PrimarySelections-Touchtone

English 31,491 16.16%

23. Title 16-Payment-Touchtone Spanish 11 18.18%

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24. ASR: Mainframe-Application forDirect Deposit-KnowledgeBased Application-Primary

Selections-Touchtone

English 2,626 18.20%

25. ASR: Mainframe-Application forDirect Deposit-PasswordAuthentication-PrimarySelections-Speech

English 36,709 18.80%

26. ASR: Mainframe-DirectDeposit-PasswordAuthentication-PrimarySelections-Speech

English 646 18.89%

27. ASR: Mainframe-DirectDeposit-Primary Selection

English 62 19.35%

28. ASR: Forms-S-MedApplication-Primary Selections-Speech

English 5 20.00%

29. ASR: Pamphlets Survivors-Primary Selection

Spanish 5 20.00%

30. ASR: Mainframe-MED CARD-Voice Capture Application-Primary Selections-Touchtone

English 3,714 20.11%

31. ASR: Mainframe-Change ofAddress-SubsequentSelections-Speech

English 49 20.41%

32. ASR: Mainframe-Application forDirect Deposit-KnowledgeBased AuthenticationSubsequent Selections-Speech

English 2,618 21.43%

33. ASR: Mainframe-SpeechApplication for ReplacementMedicare Card-SubsequentSelections-Speech

English 9,564 23.13%

34. ASR: Mainframe-Change ofAddress-SubsequentSelections-Speech

English 50 24.00%

35. ASR: Mainframe-Application forReplacement Medicare Card-Primary Selections-Touchtone

English 71,704 24.67%

36. ASR: Mainframe-Pamphlets -SS Women-Primary Selections-Touchtone

Spanish 4 25.00%

C-3





37. ASR: Mainframe-Application forBenefits Verification-PrimarySelections-Touchtone

English 59,083 25.57%

38. ASR: Mainframe-Application forBenefit Verification-Proof ofIncome-Subsequent Selections-Touchtone

English 5,515 26.94%

39. Password Services-Title 16:Payment-Speech

English 505 29.31%

40. Password Services-PasswordRegistration: Payment-Touchtone

English 6,255 29.59%

41. Password Services-GetPassword-Touchtone

English 17,790 29.95%

42. ASR: Mainframe-Application forBenefits Verification-Subsequent Selection-Speech

English 2,488 30.51%

43. ASR: Mainframe-SpeechApplication for ReplacementMedicare Card-SubsequentSelections-Speech

English 53,466 32.19%

44. Password Services-PasswordRegistration-Speech

English 7,844 33.08%

45. ASR: Forms M Voice CaptureApplication Request for a Social

Security Card Form SS5-Primary Selection-Touchtone

English 6 33.33%

46. Password Services-Get APassword Request Code-Speech

English 5,845 33.98%

47. ASR: Mainframe-Application forBenefits Verification-Subsequent Selection-Speech

English 33,764 35.50%

48. ASR: Database–Field OfficeLocation-Primary Selection-Touchtone

Spanish 36,585 35.54%

49. Password Services-PasswordUse-Touchtone

English 12,786 35.88%

50. Voice Portal: Speech Menu:Application for Social SecurityCard-Form SS5

English 193,707 37.52%

C-4





51. ASR: Forms-S-Med1020-Application for a Social SecurityStatement- Primary Selections-

Touchtone

English 3,397 38.83%

52. ASR: Forms M Voice CaptureApplication Request for a SocialSecurity Statement-Form 7004-Primary Selections-Touchtone

Spanish 50 40.00%

53. ASR: Forms m-Request forSocial Security Card-Form SS5-Primary Selection-Touchtone

English 481 42.20%

54. Voice Portal: Main Menu:Request for a Social SecurityCard-Form SS5

English 119,681 42.29%

55. Voice Portal: Main Menu:Request for a Social SecurityStatement-Form 7004

English 36,317 42.67%

56. ASR: Pamphlets-Work Affects-Primary Selection-Touchtone

Spanish 7 42.86.%

57. ASR: Forms-S SpeechApplication for Help withMedicare Prescription Drug PlanCosts-Form 1020 –PrimarySelection-Touchtone

English 33,763 43.69%

58. ASR: Forms-S-Speech

Application for Help withMedicare Prescription Drug PlanCosts-Form 1020-SubsequentSelection-Speech

English 20,477 43.75%

59. Voice Portal: Main Menu:Pamphlet

English 3,387 44.52%

60. ASR: Database-Field OfficeLocator-Primary Selection-Primary Selection-Touchtone

English 3,515 44.86%

61. Voice Portal: Speech Menu:Pamphlet

English 2,820 45.43%

62. ASR: Forms-M-Application forM-PEB-SS5-Touchtone

Spanish 602 46.68%

63. Password Services-Title 16:Payment-Touchtone

English 1,028 47.67%

64. ASR: Forms-M Application forReplacement Card-PrimarySelections-Touchtone

Spanish 11,263 48.98%

C-5





65. ASR: Forms-M PEB 7004Request for Replacement Card-Primary Selections-Touchtone

English 2 50%

C-6



Appendix D

Automated Services with Completion Rates of

50 Percent or Less: March 2007The table below contains data on the volume of transactions for the Social SecurityAdministration’s (SSA) 800-number’s automated services, which had completion ratesof 50 percent or less in March 2007. The automated services are maintained in one ofthree different management information databases: Automated Services Report (ASR),Voice Portal Report, or Password Services Report. The Automated Service field in thetable lists the database that maintains the service, as well as the name of thetransaction (for example, “Password Services-Password Change” or “Voice Portal-Application for Social Security Card”). The field also indicates whether the item was thefirst automated transaction or a subsequent automated transaction selected by a caller.

Lastly, it indicates the technological platform of the item, that is, whether the callerselected to use the Touchtone or Speak Freely Menus. The transactions selected referto the number of times the automated service was selected in the month and thecompletion rate refers to the percentage rate of transactions that were completed.



CompletionRate

1. Password Services:Password Change-Touchtone

Spanish 91 0.00%

2. Password Services: Title 16

Information Menu: Payment-Touchtone

Spanish 2 0.00%

3. Voice Portal: Main Menu-Application for Social SecurityCard Form SS5-

English 19 0.00%

4. Voice Portal: Main Menu-Pamphlet

English 5 0.00%

5. Password Services: Get APassword Request Code-Touchtone

Spanish 1,247 0.08%

6. Password Services:

Password Registration-Touchtone

Spanish 323 0.31%

7. Password Services:Password Registration-Speech

English 12,467 1.46%

8. Password Services: Get APassword Request Code-Speech

English 12,495 1.85%

D-1



9. Password Services:Password Use-Touchtone

Spanish 2,587 2.16%

10. Password Services:Password Block Access-Speech

English 329 6.69%

11. Password Services:Password Change-Speech English 188 6.91%

12. Password Services:Password Block Access-Touchtone

Spanish 147 7.48%

13. Voice Portal: Main Menu-Form-7004

English 7 14.29%

14. ASR: Mainframe-Change ofAddress-Knowledge-BasedAuthentication-PrimarySelections-Speech

English 71,420 17.75%

15. ASR: Mainframe-ApplicationChange of AddressKnowledge BasedAuthentication-SubsequentSelections-Speech

English 7,842 19.13%

16. ASR: Forms-M Request for aSocial Security StatementPEB 7004-SubsequentSelections-Touchtone

Spanish 9 22.22%

17. ASR: Mainframe-Applicationfor Change of

Address/Telephone Number-Password Authentication-Primary Selections-Speech

English 827 23.82%

18. ASR: Mainframe-Applicationfor Replacement MedicareCard-Subsequent Selections-Speech

English 18,253 25.37%

19. ASR: Mainframe-Applicationfor Direct Deposit-KnowledgeBased Authentication-PrimarySelections-Speech

English 59,042 28.86%

20. ASR: Mainframe-Applicationfor Replacement MedicareCard-Primary Selections-Speech

English 76,549 29.79%

21. ASR: Mainframe-Applicationfor Direct Deposit-KnowledgeBased Authentication-Subsequent Selections-

English 8,325 30.53%

D-2



Speech22. Password Services:

Password Use-SpeechEnglish 5,063 30.89%

23. ASR: Mainframe-Change ofAddress Password

Authentication-SubsequentSelections-Speech

English 90 31.11%

24. ASR: Database-Field OfficeLocator-Primary Selections-Touchtone

Spanish 34,216 34.95%

25. ASR: Forms-M PEB-SS5Application for Social SecurityCard-Subsequent Selections-Touchtone

Spanish 84 36.90%

26. ASR: Mainframe-BenefitVerification-Primary

Selections-Speech

English 63,675 37.15%

27. ASR: Mainframe-BenefitVerification-SubsequentSelections-Speech

English 8,875 38.46%

28. ASR: Pamphlets-Survivors-Primary Selections-Touchtone

Spanish 5 40.00%

29. Voice Portal: Speech Menu-Application for Social SecurityCard Form SS5

English 363,297 40.14%

30. ASR: Database-Field Office

Locator-SubsequentSelections-Touchtone

Spanish 3,940 43.38%

31. ASR: Forms-M - Peb-SS5Application for Social SecurityCard-Touchtone

Spanish 694 43.80%

32. ASR: Forms-S-Applicationfor Help with MedicarePrescription Drug Plan Costs-MED 1020-SubsequentSelections-Speech

English 22,088 44.39%

33. ASR: Forms-M Request for a

Social Security Statement-Peb7004-Primary Selections-Touchtone

Spanish 54 44.44%

34. ASR: Mainframe-SpeechApplication for Direct Deposit-Password Authentication-Primary Selections-Speech

English 973 45.73%

35. ASR: Mainframe-Speech English 146 46.58%

D-3



Application for Direct Deposit-Password Authentication-Subsequent Selections-Speech

36. Forms-M Voice Capture

Application for ReplacementMedicare Card-PrimarySelections-Touchtone

Spanish 10,517 48.07%

37. ASR: Pamphlets VoiceCapture Application-SSWomen-Primary Selections-Touchtone

Spanish 10 50.00%

D-4



Appendix E

Analysis of the 20 Most Frequently Used

Automated Services: March 2006The table below contains data on the volume of transactions for the Social SecurityAdministration’s (SSA) 800-number’s automated services which were the 20 mostfrequently used in March 2006. The automated services are maintained in one of threedifferent management information databases: Automated Services Report (ASR), VoicePortal Report, or Password Services Report. The Automated Service field in the tablelists the database that maintains the service, as well as the name of the transaction (forexample, “ASR-Field Office Locator” or “Voice Portal-Form SS5”). The field alsoindicates whether the item was the first automated transaction or a subsequentautomated transaction selected by a caller. Lastly, it indicates the technological

platform of the item, that is, whether the caller selected to use the Touchtone or SpeakFreely Menus. The transactions selected refer to the number of times the automatedservice was selected in the month and the completion rate refers to the percentage rateof transactions that were completed.

Some automated service transactions were pre-programmed to be “0 percent complete”or “never complete.” These transactions were intended to capture data only on 800-number callers that either were not qualified or did not have the information needed touse the selected services, so the transactions were always defined as “never complete.”Also, some automated service transactions were pre-programmed to be “100 percentcomplete” or “always complete.” These transactions provided informational messages

to the caller. The transactions were “always complete” even if the caller did not listen tothe entire message. We did not include these transactions in our analysis of the 20most frequently accessed services.



CompletionRate

1. ASR: Field Office Locator – Primary Selections-Touchtone

English 259,501 61.57%

2. Voice Portal Report: SpeechMenu: Form SS5

English 193,707 37.52%

3. Voice Portal Report: Main Menu:Form SS5

English 119,681 42.29%

4. ASR: Database-Field OfficeLocator-Primary Selections-Speech

English 93,965 74.82%

5. ASR: Application forReplacement Medicare Card-Primary Selections-Touchtone

English 71,704 24.67%

E-1





6. ASR: Speech Application forChange of Address/TelephoneNumber-Knowledge Based

Authentication-PrimarySelections-Speech

English 63,110 10.24%

7. ASR: Voice Capture Applicationfor Benefit Verification –PrimarySelections-Touchtone

English 59,083 25.57%

8. ASR: Speech Application forReplacement Medicare Card-Primary Selections-Speech

English 53,466 32.19%

9. ASR: Application for Change ofAddress/Telephone Number-Knowledge Based

Authentication-PrimarySelections-Touchtone

English 41,901 9.49%

10. ASR: Mainframe-DD-KB-PrimarySelection-Speech

English 36,709 18.79%

11. ASR: Field Office Locator-Database

Spanish 36,585 35.54%

12. Voice Portal-Form 7004-Speech English 36,317 42.67%13. ASR: Ben Ver-Mainframe-

SpeechEnglish 33,764 35.50%

14. ASR: Form S Med 1020-Primary Selection -Touchtone

English 33,763 43.69%

15. ASR: Mainframe-DD-KB-PrimarySelection-Touchtone

English 31,491 16.16%

16. ASR: Forms-S MED 1020-Subsequent Selection-Speech

English 20,477 43.75%

17. ASR: Forms-M SSS-PrimarySelection

Spanish 18,070 52.10%

18. PSR: Password Services: GetPRC

English 17,790 29.95%

19. ASR: Database-Field OfficeLocator

English 16,966 68.89%

20. Password Services: PW Use English 12,786 35.88%

E-2



Appendix F

Analysis of the 20 Most Frequently Used

Automated Services: March 2007The table below contains data on the volume of transactions for the Social SecurityAdministration’s (SSA) 800-number’s automated services which were the 20 mostfrequently used in March 2007. The automated services are maintained in one of threedifferent management information databases: Automated Services Report (ASR), VoicePortal Report, or Password Services Report. The Automated Service field in the tablelists the database that maintains the item, as well as the name of the transaction (forexample, “ASR-Medicare-Drug Program” or “Voice Portal-Form SS5”). The field alsoindicates whether the item was the first automated transaction or a subsequent

automated transaction selected by a caller. Lastly, it indicates the technologicalplatform of the item, that is, whether the caller selected to use the Touchtone or SpeakFreely Menus. The transactions selected refer to the number of times the automatedservice was selected in the month and the completion rate refers to the percentage rateof transactions that were completed.

Some automated service transactions were pre-programmed to be “0 percent complete”or “never complete.” These transactions were intended to capture data only on 800-number callers that either were not qualified or did not have the information needed touse the selected services, so the transactions were always defined as “never complete.”Also, some automated service transactions were pre-programmed to be “100 percentcomplete” or “always complete.” These transactions provided informational messages

to the caller. The transactions were “always complete” even if the caller did not listen tothe entire message. We did not include these transactions in our analysis of the 20most frequently accessed services.



CompletionRate

1. Voice Portal: Speech Menu-FormSS5

English 363,297 40.14%

2. ASR: Field Office Locator English 204,060 69.90%3. ASR: Voice Capture Application

for Replacement Medicare Card

English 76,549 29.79%

4. ASR: Application for Change ofAddress/Telephone Number-Knowledge-Based Authentication)

English 71,420 17.75%

5. ASR: Mainframe-BenefitsVerification-Primary Selections-Speech

English 63,675 37.15%

F-1





6. ASR: Application for DirectDeposit-Knowledge-BasedAuthentication-Primary

Selections-Speech

English 59,042 28.86%

7. ASR: Field Office LocatorDatabase-Subsequent Selections-Speech

English 40,632 67.75%

8. ASR: Field Office LocatorDatabase-Primary Selections-Touchtone

Spanish 34,216 34.95%

9. ASR: Form S MED 1020 – Subsequent Selection-Speech

English 22,088 44.39%

10. ASR: Mainframe-MED Card-Subsequent Selection-Speech

English 18,253 25.37%

11. ASR: Form SS5-PrimarySelection-Touchtone

Spanish 17,953 52.04%

12. Password Services: Obtain PRC-Speech

English 12,495 1.85%

13. Password Services: PasswordReg-Speech

English 12,467 1.46%

14. Voice Portal: 7004 Menu-Speech English 12,336 64.07%15. ASR: Form M-Bene-Primary

Selection-TouchtoneSpanish 11,421 56.14%

16. ASR: Form M-MED Card-PrimarySelection-Touchtone -Touchtone

Spanish 10,517 48.07%

17. ASR: Mainframe BEN VER-Subsequent Selection-Speech

English 8,875 38.46%

18. ASR: Mainframe Direct Deposit-Subsequent Selection-Speech

English 8,325 30.53%

19. ASR: Mainframe-Change ofAddress-Knowledge-BasedAuthentication

English 7,842 19.13%

20. ASR: Forms-M-Pebes-PrimarySelection

Spanish 6,381 56.28%

F-2



Appendix G

Cost Data for 800-Number Network Transaction

ChargesThe table below details the fees Verizon charges SSA for calls connected to the800-number network. The fees consist of flat rate fees, as well as a charge for eachminute the call is connected. The Agency is also charged a flat rate fee for eachautomated system transaction selected by callers. The fees for automated transactionsare charged even if callers hang up before completing their business.

National 800-Number Network Basic Charges Cost UnitUsage Fee $0.0160 Per minuteDatabase Access/Menu Routing $0.0300 Per callSpeak Freely Main Menu $0.0856 Per callTransaction Type Cost UnitChange of Address/TelephoneNumber(Knowledge Based and PasswordAuthentication)

$0.1284 Per completed call inautomation

Direct Deposit $0.1284 Per completed call inautomation

Benefit Verification $0.2900 Per completed call inautomation

Medicare OptionsRequest for Replacement Medicare Card(Modified Knowledge Based Authentication)


Request for SSA-1020 (with message) $0.2900 Per completed call inautomation

Message: Medicare Prescription Drug Program NotCharged

Social Security Card Application(Form SS-5) Spanish Manual Transcription


Field Office Locator Database NotCharged

Password ServicesPassword Services Account Status (Check yourbenefits)

NotCharged

Social Security Statement OptionsForm SSA-7004: To request Social SecurityStatement


Form SSA-7004: To request SS Statement withDifferent Estimates of Future Earnings


G-1



Form SS-5: To correct Name or Date of Birth $0.2900 Per completed call inautomation

Spanish Manual Transcription $0.4483 Per completed call inautomation

Message: Why Social Security Statement Was

Sent

Not

ChargedMessage: Address on Social Security Statement NotCharged

Transaction Type Cost UnitMessage: Earnings This Year/Last Year on SocialSecurity Statement

NotCharged

Pamphlet RequestsPamphlet: Understanding the Benefits $0.2900 Per completed call in

automationPamphlet: Retirement Benefits $0.2900 Per completed call in

automation

Pamphlet: Disability Benefits $0.2900 Per completed call inautomation

Pamphlet: Survivors Benefits $0.2900 Per completed call inautomation

Pamphlet: How Work Affects Your Benefits $0.2900 Per completed call inautomation

Pamphlet: Benefits for Children with Disabilities $0.2900 Per completed call inautomation

Pamphlet: What Every Woman Should Know $0.2900 Per completed call inautomation

Spanish Manual Transcription $0.4483 Per call completed in

transcriptionInformational MessagesMessage: Payment Delivery Dates Not

ChargedMessage: Direct Deposit Not

ChargedMessage: Best Times to Call 800-Number Not

ChargedMessage: SSA Internet Address and Services Not

ChargedMessage: Supplemental Security Income

Message

Not

ChargedMessage: SSA-1099 Benefit Statement Not

ChargedMessage: Cost-of-Living Adjustment Not

Charged

G-2



Appendix H

Agency Comments



SOCIAL SECURITY

H-1

MEMORANDUM

Date: October 4, 2007 Refer To: S1J-3

To: Patrick P. O'Carroll, Jr.

Inspector General

From: Larry W. Dye /s/

Subject: Office of the Inspector General (OIG) Draft Report, "The Effectiveness of the Social Security

Administration’s 800-Number Automation” (A-02-07-17049)--INFORMATION

We appreciate OIG’s efforts in conducting this review. Our comments on the recommendations

are attached.

Please let me know if we can be of further assistance. Staff inquiries may be directed to

Ms. Candace Skurnik, Director, Audit Management and Liaison Staff, at (410) 965-4636.

Attachment



COMMENTS ON THE OFFICE OF THE INSPECTOR GENERAL’S (OIG) DRAFT

REPORT, “THE EFFECTIVENESS OF THE SOCIAL SECURITY

ADMINISTRATION’S 800-NUMBER AUTOMATION SERVICE” (A-02-07-17049)

Thank you for the opportunity to review and provide comments on this draft report. The

objective of the report was to review the effectiveness of our 800-number automation service.However, the report only attempts to evaluate the effectiveness of automated services based on

management information about completion and abandonment. We believe this type of

evaluation is of limited use because it does not include a caller perspective. In addition, it seems

to be based on two presumptions we do not believe are supportable, in light of various surveys

we have conducted with 800-number callers; i.e., that 1) every automated service accessed

represents the real reason for the call; and 2) inadequacy of the service is measured by a caller

not completing their business through the automated service. For example, our 800-Number

Speech Recognition Survey, released in December 2006, included about 400 callers who,

according to the management information, had used the automated service for change of address

or direct deposit. However, when asked why they called the 800-number that day, about

40 percent said the main reason for their call was something else. The survey was conductedbased on contacts in March 2006, when half the callers had received the touchtone and half the

speech recognition menu. Regardless of the menu system encountered, the proportion of

“inadvertent” selections was the same: Callers using the touchtone system selected automated

services they did not want; callers using the speech recognition system expressed what they were

calling about in a way that directed them to an automated service that did not meet their needs.

We note that OIG recognizes the need for a caller perspective, but explains that a survey was not

pursued because of the inability to target a sample of automated service users with unsuccessful

outcomes. However, relevant information about callers who have accessed automated services,

both successfully and unsuccessfully, can be obtained from more generalized samples of

800-number callers, as we have done in our annual 800-Number Caller Surveys and in severalspecial study surveys. The Fiscal Year 2006 800-Number Caller Survey addressed the reasons

callers who had used an automated service were unable to complete all of their business in the

automated services. The majority of the responses reflected the following caller choice or

circumstances: 23 percent - wanted the reassurance of talking to an agent; 22 percent – the

automated service did not cover the caller’s specific situation; 14 percent – had other business

that could not be handled through an automated service; and 6 percent – the caller did not have

the necessary information available. Another 22 percent of responses indicated the system

advised the caller of the need to transfer to an agent, which could be a reflection of our screening

criteria working as intended. Only 8 percent said it was just too hard to use the automated

service.

Our comments on the draft recommendations are as follows.

H-2



Recommendation 1

Have its Office of General Counsel determine whether SSA’s current 800-number service related

contract(s) allow for the provision of management information that identifies 800-number callers

with unsuccessful outcomes in the automated system at no additional cost to the Agency.

Comment

We agree. We will evaluate the current contracts to determine if we can obtain management

information that identifies 800-number callers with unsuccessful outcomes in the automated

system at no additional cost.

Recommendation 2

Ensure future contracts routinely provide management information needed to identify

800-number callers with unsuccessful outcomes in the automated system at no additional cost to

the Agency.

Comment

We agree. We will ensure that future contracts include the requirement that a contractor provide

such management information (this requirement would be included as part of the statement of

work). However, it should be noted that this type of information may come at a cost. We

believe even if the collection and reporting of management information for the

800-number environment is not a lined charge item in the contract, the cost of that service will

be rolled into some greater part of the total price of the contract. If so, we must weigh the

incurrence of such a cost with other competing Agency priorities.

Recommendation 3

Determine, once the necessary call data are obtained, why any of its automated options have low

completion rates and take necessary steps to improve the service provided.

Comment

We agree. Once the data is made available, we will utilize the information as a tool to identify

problems/weaknesses in our automated service applications. We will also work to improve the

service and caller experience of our 800-number callers.

Recommendation 4

Develop quantitative performance measures and goals to measure the effectiveness of the

automated service system.

H-3



Comment

We agree. We plan to develop outcome-oriented performance measures with targets that

promote continuous improvement in order to assess the ongoing effectiveness of the 800-number

automated service system. We expect to start the development of the performance measures and

goals in Fiscal Year 2008.

H-4



Appendix I

OIG Contacts and Staff Acknowledgments

OIG Contacts

Tim Nee, Director, 212-264-5295

Victoria Abril, Audit Manager, 212-264-0504

Acknowledgments

In addition to those named above:

Christine Hauss, Senior Program Analyst, 212-264-5826

For additional copies of this report, please visit our web site atwww.socialsecurity.gov/oig or contact the Office of the Inspector General’s PublicAffairs Specialist at (410) 965-3218. Refer to Common Identification NumberA-02-07-17049.

http://www.socialsecurity.gov/oig

http://www.socialsecurity.gov/oig



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Overview of the Office of the Inspector General

The Office of the Inspector General (OIG) is comprised of our Office of Investigations (OI),

Office of Audit (OA), Office of the Chief Counsel to the Inspector General (OCCIG), and Office

of Resource Management (ORM). To ensure compliance with policies and procedures, internal

controls, and professional standards, we also have a comprehensive Professional Responsibility

and Quality Assurance program.

Office of Audit

OA conducts and/or supervises financial and performance audits of the Social Security

Administration’s (SSA) programs and operations and makes recommendations to ensure

program objectives are achieved effectively and efficiently. Financial audits assess whether

SSA’s financial statements fairly present SSA’s financial position, results of operations, and cash

flow. Performance audits review the economy, efficiency, and effectiveness of SSA’s programs

and operations. OA also conducts short-term management and program evaluations and projectson issues of concern to SSA, Congress, and the general public.

Office of Investigations

OI conducts and coordinates investigative activity related to fraud, waste, abuse, and

mismanagement in SSA programs and operations. This includes wrongdoing by applicants,

beneficiaries, contractors, third parties, or SSA employees performing their official duties. This

office serves as OIG liaison to the Department of Justice on all matters relating to the

investigations of SSA programs and personnel. OI also conducts joint investigations with otherFederal, State, and local law enforcement agencies.

Office of the Chief Counsel to the Inspector General

OCCIG provides independent legal advice and counsel to the IG on various matters, including

statutes, regulations, legislation, and policy directives. OCCIG also advises the IG on

investigative procedures and techniques, as well as on legal implications and conclusions to be

drawn from audit and investigative material. Finally, OCCIG administers the Civil Monetary

Penalty program.Office of Resource Management

ORM supports OIG by providing information resource management and systems security. ORM

also coordinates OIG’s budget, procurement, telecommunications, facilities, and human

resources. In addition, ORM is the focal point for OIG’s strategic planning function and the

development and implementation of performance measures required by the Government

social security: a-02-07-17049

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